Legal, RIA Custody/Broker-Dealer Attorney, Vice President, Dallas/New York City - New York, New York, United States
1 day ago
Job description
DescriptionLEGAL
We work at the intersection of finance and law, providing counsel and advice that support activities across the firm. We handle litigation and arbitration, perform research and due diligence, aid in financing and legal filings, deal with contracts and intellectual property rights that show our commitment to clients, shareholders, and regulators. Whether you're an experienced attorney or a quick learner with a strong interest in financial law coupled with critical thinking skills, our dynamic group might be right for you.
RESPONSIBILITIES AND QUALIFICATIONS
The Legal Division is looking for an attorney with 6+ years' experience to join the Global Banking and Markets Legal team in New York, NY or Dallas, TX. The key responsibilities of the position will be supporting Goldman Sachs' custody business for registered investment advisors (RIA Custody business). The RIA Custody business is an execution, clearing and custody platform that serves independent RIAs.
Principal Responsibilities
- Advise on the strategy, development, integration and expansion of the RIA Custody business, including legal and regulatory analysis of existing products and new initiatives.
- Assist the client services teams in dealing with our clients' requests.
- Assist Compliance in producing responses to regulatory inquiries.
- Communicate with various regulatory bodies directly and through industry associations regarding changes in laws and policies that may have an impact on the business.
- Provide education and direction to other departments on the application of rules and regulations.
- Create and negotiate agreements that relate to brokerage and custody services.
- Manage outside counsel.
- Collaborate across control groups to drive execution and ensure consistency in risk management.
Basic Qualifications
- 8+ years of relevant legal experience post JD.
- Strong knowledge of SEC and FINRA rules governing broker-dealers.
- Knowledge of the SEC and state rules governing investment advisers is a plus.
- In-house experience in a RIA Custody business is a significant plus.
- Strong legal and business judgment, writing and analytical skills.
- Excellent interpersonal and communication skills; the ability to clearly articulate ideas and develop stakeholder relationships.
- A fast learner who is excited about learning something new outside of their comfort zone.
- Excellent organizational skills with the ability to manage several simultaneous projects under deadlines in a fast-paced environment.
- In-house experience at a broker-dealer or registered investment advisor in legal or compliance
- Experience at a federal regulator or self-regulatory organization
- Outstanding law firm credentials
Preferred Qualifications
- In-house experience at a broker-dealer or registered investment advisor in legal or compliance
- Experience at a federal regulator or self-regulatory organization
- Outstanding law firm credentials
ABOUT GOLDMAN SACHS
At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.
We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at
We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:
The Goldman Sachs Group, Inc., 2023. All rights reserved.
Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.
Salary Range
The expected base salary for this New York, New York, United States-based position is $170000-$ In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end.
Benefits
Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience. A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here.
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